Stephen H. Hamrick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Hampton Hamrick was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1975. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2011 - February 20, 2020
TERRA CAPITAL MARKETS LLC
August 15, 2006 - August 11, 2010
LIGHTSTONE SECURITIES, LLC
August 27, 2002 - August 10, 2006
CAREY FINANCIAL, LLC
October 14, 1996 - July 6, 1998
CANTOR FITZGERALD & CO.
March 11, 1994 - October 20, 1995
WALL STREET ACCESS
July 25, 1988 - April 21, 1994
UBS FINANCIAL SERVICES INC.
February 15, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
November 18, 1975 - February 15, 1988
E. F. HUTTON & COMPANY INC
February 24, 1975 - December 12, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 10/23/1977
AMEX Put and Call ExamSeries 8
Date: 12/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TERRA CAPITAL MARKETS LLC
CRD#: 123762 / SEC#: , 8-65611
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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